Disciplined List
Shuman, Alan Marsh
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Date of Order or Settlement:
2011-04-05 -
Banned Until:
2028-11-04
Sanction:
- 20-year ban from purchasing and trading in securities or exchange contracts (with conditions)
- 20-year denial of exemptions (with conditions)
- 20-year director/officer ban
Supporting Documents:
Violation:
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Acting contrary to the public interest (OSC)